AMI 5.3.1
(1) An Authorised Market Institution must, for the purpose of proper discharge of its Regulatory Functions , have at all times individuals appointed to carry out the functions of the:
(a) Governing Body ;
(b) Senior Executive Officer ;
(c) Finance Officer ;
(d) Compliance Officer ;
(e) Risk Officer ;
(f) Money Laundering Reporting Officer ; and
(g) Internal Auditor .
(2) Each of the functions of an Authorised Market Institution specified in (1)(a) to (g) are Licensed Functions for the purposes of Article 43(1) of the Regulatory Law .
Derived from RM118/2013 [VER15/07-13]
[Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]
[Amended] DFSA RM133/2014 (Made 21st August 2014). [VER16/06-14]